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Many private companies rely on Rule 701 to efficiently issue stock and options to recruit and retain talent. However, the SEC's demonstrated interest in pursuing enforcement actions relating to Rule 701 ...
Many private companies rely on Rule 701 to efficiently issue
stock and options to recruit and retain talent. However, the
SEC's demonstrated interest in pursuing enforcement actions
relating to Rule 701 compliance emphasizes the need for private
companies to carefully track the aggregate amount of their
compensatory equity awards, and to be mindful of the limits and
conditions required for the Rule 701 exemption to apply.
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